Program Overview

The Division of Banking and Securities regulates state depository and non-depository financial institutions, administers and enforces Alaska’s financial services laws, and provides information to consumers, investors, entrepreneurs and the financial services industry. The division includes three sections that administer 12 statutory programs. In addition to licensing, examination and enforcement duties, division staff answer inquiries, investigate and resolve complaints, and contribute to education and outreach activities.

The Securities and Enforcement Section examines and registers securities, securities dealers and salespersons, investment advisers and their representatives; and is the repository for Alaska Native Claims Settlement Act (ANCSA) corporation proxy information. Together, the three sections enforce the financial services laws to protect consumers, preserve the integrity of the financial systems, enhance legitimate capital formation and deter financial fraud.

Disclaimer:

This site is provided as a public service for general informational purposes only; it does not attempt to address specific business transactions or legal disputes. This service is not intended to be legal advice, and should not be construed as a replacement for competent legal counsel.